SEC - Smartria

Access SEC compliance insights, examination guidance, regulatory updates, enforcement trends, and audit preparedness strategies.

October 1, 2021

Published by Mark Cunha

SEC Scrutinizing RIAs on 12b-1 Fees, Revenue Sharing, and Wrap Fees

The SEC recently took enforcement actions against three Registered Investment Advisers (RIAs) that breached their fiduciary duty to advisory clients. In particular, the SEC took disciplinary action against RIAs over issues related […]

August 21, 2021

Published by Mark Cunha

SEC Findings: Wrap Fee Initiative

The SEC has been watching wrap fee programs for quite a while. From 2017-19, the SEC’s annual examination priorities named wrap fee programs as putting investors at risk. The SEC’s Division of […]

SEC Scrutinizing RIAs on 12b-1 Fees, Revenue Sharing, and Wrap Fees

SEC Findings: Wrap Fee Initiative

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